US OCC Enforcement Actions
Published OCC enforcement actions involving institutions, companies, and individuals.
Source availability
Available for screening
6,071 source records are available in the current dataset.
Records can overlap across lists; this is not a count of unique people or organizations.
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- Our refresh schedule
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Data overview
OCC Enforcement Actions is published by Office of the Comptroller of the Currency.
The available version contains 6,071 source records before any name search.
The entity-type breakdown is 3,361 people and 2,710 organizations.
- Source records
- 6,071
- Publicly browsable records
- 6,071
- Entity types present
- 2
Record types and how to read these counts
Records by entity type
- People
- 3,361
- Organizations
- 2,710
- Other / unspecified
- 0
What these numbers mean
Counts describe this source’s current available records, before any name search. Records can overlap within and across lists. They are not counts of unique entities.
Publicly browsable records are the portion available in the public directory. A record’s presence does not by itself establish an active sanction.
Organizations include companies and other bodies. Other / unspecified means the source record has no more specific supported type.
What this source covers
The official export includes action types, start dates, termination dates, document references, amounts, and subject matters. It includes historical and terminated actions and is not guaranteed comprehensive. Certain pre-December 23, 2022 prohibition notifications are excluded by the publisher, and older OTS actions are in a separate archive.
Distinguish the action from its current effect
An enforcement action is not automatically a financial sanction or an ongoing prohibition. Consult the original order and current OCC search for its scope, modification, and termination. Exact termination dates end current screening eligibility; missing or N/A dates remain explicitly uncertain. Inconsistent publisher dates are preserved and flagged.
- Read the stated action type and procedural status.
- Check the decision, dates and later amendments.
- Keep different orders about the same named party distinct.
Public source records
- Troutman, G. RaifordOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Troutman, G. Raiford. The recorded action date is 22 Jul 1994.PersonOCC Enforcement Actions
- Tennison, James C.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Tennison, James C.. The recorded action date is 14 Dec 1990.PersonOCC Enforcement Actions
- Culbertson, KatherineOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Culbertson, Katherine. The recorded action date is 11 Jun 2003.PersonOCC Enforcement Actions
- Rhode Island Hospital Trust National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Rhode Island Hospital Trust National Bank. The recorded action date is 13 May 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Rabobank, National AssociationOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Rabobank, National Association. The recorded action date is 5 Dec 2013. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Bassi, NeilOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Bassi, Neil. The recorded action date is 29 Nov 2021.PersonOCC Enforcement Actions
- The First National Bank of TalladegaOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for The First National Bank of Talladega. The recorded action date is 27 Jul 2010.OrganizationOCC Enforcement Actions
- Clevenger, GeraldOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Clevenger, Gerald. The recorded action date is 14 May 1999.PersonOCC Enforcement Actions
- Lelito, Patricia A.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Lelito, Patricia A.. The recorded action date is 1 Dec 1993.PersonOCC Enforcement Actions
- Lee, Brian P.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Lee, Brian P.. The recorded action date is 11 Jan 1994.PersonOCC Enforcement Actions
- Smith, Carol HarrisonOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Smith, Carol Harrison. The recorded action date is 2 Sep 2005.PersonOCC Enforcement Actions
- Scheel, Kristina L.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Scheel, Kristina L.. The recorded action date is 9 Oct 2018.PersonOCC Enforcement Actions
- Caver, KatrinaOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Caver, Katrina. The recorded action date is 29 Jul 2013.PersonOCC Enforcement Actions
- Trammell, Tom J.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Trammell, Tom J.. The recorded action date is 4 Feb 2005.PersonOCC Enforcement Actions
- First National Bank of WahooOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for First National Bank of Wahoo. The recorded action date is 17 May 2013.OrganizationOCC Enforcement Actions
- Firstier Bank, N.A.Office of the Comptroller of the Currency records “Securities Enforcement Action” for Firstier Bank, N.A.. The recorded action date is 24 Jan 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First National Bank of CherokeeOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank of Cherokee. The recorded action date is 22 Jul 2002. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Providian National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Providian National Bank. The recorded action date is 28 Jun 2000. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The First National Bank Of RaymondOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank Of Raymond. The recorded action date is 28 Feb 2001. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Comerica Bank & Trust, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Comerica Bank & Trust, National Association. The recorded action date is 4 Apr 2024. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First National Bank Of InglesideOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for First National Bank Of Ingleside. The recorded action date is 15 Nov 1990. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Rodriquez, IssacOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Rodriquez, Issac. The recorded action date is 27 Jan 1993.PersonOCC Enforcement Actions
- North Cascades National BankOffice of the Comptroller of the Currency records “Formal Agreement” for North Cascades National Bank. The recorded action date is 8 Dec 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Crotty, JamesOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Crotty, James. The recorded action date is 9 Sep 2022.PersonOCC Enforcement Actions
- Hacienda National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Hacienda National Bank. The recorded action date is 29 Jun 1993. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Alterman, EugeneOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Alterman, Eugene. The recorded action date is 11 Apr 1994.PersonOCC Enforcement Actions
- United Bank For Africa PLCOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for United Bank For Africa PLC. The recorded action date is 29 Feb 2008. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The First National Bank of PlainviewOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank of Plainview. The recorded action date is 5 Feb 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- UBS AG Stamford BrOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for UBS AG Stamford Br. The recorded action date is 5 Jun 2017. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Stearns Bank National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Stearns Bank National Association. The recorded action date is 18 Apr 2016.OrganizationOCC Enforcement Actions
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Questions about US OCC Enforcement Actions
Who publishes US OCC Enforcement Actions?
The catalog identifies Office of the Comptroller of the Currency as the publisher in United States. Open the publisher reference. SanctionsKit’s source profile is separate from that publisher’s original records and notices.
Can I select US OCC Enforcement Actions for screening?
The current source snapshot marks US OCC Enforcement Actions as available for screening. Select its source ID, us-occ-enforcement, when your policy requires it. Check availability again when you run a request. This status does not by itself grant public browsing or export rights.
Can I browse current US OCC Enforcement Actions records here?
Current public records from US OCC Enforcement Actions can be browsed here. The current source contains 6,071 records. This counts source records, not distinct people, companies or assets. An empty name search is not a completed screening check.
May I reuse or export US OCC Enforcement Actions records?
Access to US OCC Enforcement Actions does not grant every right to copy, export or redistribute it. Read the source reuse terms and the attribution notice for the version you use. A public record page or working screening integration is not an export permission. Follow the conditions that apply to your intended use.
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Source discovery reference: OpenSanctions source catalog, captured . Import and record counts above come from SanctionsKit.